NAPGCM DISPUTE RESOLUTION PROCESS
INTRODUCTION
The purpose of the grievance process is to provide a clearly stated protocol for the review and disposition of complaints filed by professionals or consumers regarding the conduct of a NAPGCM member. Complaints must allege violation of NAPGCM’s Standards of Practice or Pledge of Ethics. The process may result in the imposition of discipline on the NAPGCM member.
INITIATING THE GRIEVANCE PROCESS
1. Any person may make a complaint against a member of NAPGCM by contacting the NAPGCM national office, by any means of communication. A designated NAPGCM staff representative should respond to the complainant by providing information from NAPGCM’s Standards of Practice, Pledge of Ethics, and common business practices. However, the staff representative should not attempt to resolve the complaint. NAPGCM shall not accept anonymous complaints.
2. The staff representative shall inform the complainant that NAPGCM has a formal grievance process. The Declaration of Complaint form, the Grievance Process and NAPGCM’s Standards of Practice will be sent out to the complainant.
FILING AND ANSWERING A FORMAL COMPLAINT
1. A completed Declaration of Complaint form, signed and dated by the complainant and submitted to the NAPGCM national office, shall constitute a formal complaint. The Declaration should include all evidence in support of the charge(s).
2. Upon receipt of the properly completed Declaration, the NAPGCM national office shall acknowledge such receipt, in writing, to the complainant.
3. Also upon receipt of a properly completed Declaration, the NAPGCM national office shall promptly provide a copy of the Declaration, including all supporting evidence submitted by the complainant, to the subject of Declaration (“respondent”).
4. The respondent will be requested to provide a written answer to the Declaration within thirty (30) days of receipt by the respondent. This answer should include any evidence the respondent deems relevant, including affidavits from witnesses.
HEARING
1. Upon receipt by the NAPGCM national office of an answer from the respondent, or if the respondent declines to submit an answer, the Chairperson of the NAPGCM Standards and Ethics Committee shall be informed of the Declaration, and a copy of the Declaration and the answer, and all supporting documentation, shall be provided to the Chairperson and each member of the Grievance Committee, who are appointed by the NAPGCM Standards and Ethics Committee Chair.
2. The Committee Chairperson shall set a hearing to review the Declaration, preferably
within fifteen (15) to thirty (30) days of receiving the Declaration.
3. The hearing, consisting of all appointed Grievance Committee members numbering between (3) three and (5) five people may be held in person or by conference telephone. Both the complainant and the respondent will be requested to attend. The respondent will be permitted to be represented by legal counsel, to submit evidence, and to cross-examine any witness that appears at the hearing. Formal rules of evidence will not apply; however, due process shall be followed.
4. The primary function of the Grievance Committee is to serve as a decision-making body and to determine sanctions. The burden to produce sufficient evidence is on the complainant, and the Grievance Committee is not obligated to gather evidence independently. Nevertheless, the Grievance Committee may seek to do so if the Committee believes this would assist in their consideration of the merits of the Declaration.
5. At any time prior to the hearing, the Grievance Committee has the discretion to dismiss a Declaration based on the written submissions of the complainant and respondent, or to defer a Declaration pending resolution of the related proceeding, such as a civil suit or administrative investigation. The Grievance Committee Chairperson also may seek to resolve the complaint through negotiations with the complainant and respondent, subject to final approval by the Grievance Committee.
DECISION OF THE GRIEVANCE COMMITTEE
1. Following the hearing, the Grievance Committee will render a written decision, including the basis for the decision, preferably within sixty (60) days of the conclusion of the hearing.
2. If the Grievance Committee determines that sufficient evidence has been produced to conclude that the respondent violated one or more provisions of the Pledge of Ethics or Standards of Practice, then the decision also shall state what disciplinary action, if any, will be imposed. Such disciplinary action may include but is not limited to (in no particular order): censure by NAPGCM, suspension from NAPGCM for a period of time, expulsion from NAPGCM, a fine imposed by NAPGCM, and /or notification/referral to consumer advocacy/law enforcement/law enforcement/licensing entities.
3. A copy of the Grievance Committee’s written decision will be provided to the complainant and the respondent.
APPEAL
1. Either the complainant or the respondent may appeal the Grievance Committee’s decision, or any aspect thereof, including the disciplinary action, to the NAPGCM Executive Committee. An appeal is affected by providing written notice to the NAPGCM Executive Director within twenty (20) days of issuance of the committee’s decision. The complainant and respondent shall be informed through the NAPGCM staff of any appeal by the other.
2. Any disciplinary action imposed by the Grievance Committee shall be stayed until the appeal has been resolved by the Executive Committee.
3. The complainant and respondent will be permitted to submit any materials in connection with an appeal. Such submissions must be received by the NAPGCM national office within twenty (20) days of the filing of an appeal.
4. The Executive Committee having determined due process was followed shall render a decision based on the materials submitted by the complainant and respondent, including the Declaration and answer, as well as the decision of the Grievance Committee. The Executive Committee may hold a hearing, but is not required to do so.
5. The Executive Committee may uphold the decision of the Grievance Committee, remand any or all of the matter to the Grievance Committee for further deliberation or action, or modify or reverse the decision, including the discipline, of the Grievance Committee. This decision will be communicated to the complainant and respondent in writing.
MISCELLANEOUS
1. NAPGCM may publish the final results of any grievance, including the punishment imposed, at its discretion, as determined by the NAPGCM Executive Committee or Board of Directors.
2. All time limits are aspirational, and due consideration shall be given to reasonable requests to modify such limits to accommodate any or all parties.
3. Members of the Grievance Committee and the Executive Committee shall disclose any conflict of interest that may affect their impartiality in participating in consideration of any grievance.
4. In the event any person serves on both the Grievance Committee and the Executive Committee, that person shall participate only as a member of the Grievance Committee in connection with any grievance.
5. Resignation by a respondent from membership in NAPGCM while a Declaration is pending shall not deprive NAPGCM of jurisdiction to continue the grievance process.
Ratified 2/28/99 by NAPGCM Board of Directors
